Communications to Firms

Stay current on FINRA’s communications about timely regulatory issues, including Board of Governors meeting updates, the annual examination priorities letter and issues of importance to small firms.

September 18, 2013
A Few Minutes With FINRA—FINRA Examination Program Update
FINRA's Executive Vice President of Regulatory Operations Susan Axelrod provides an update on FINRA's examination program, including a newly implemented process for submitting examination-related documents through the Firm Gateway. (8 min. 11 sec.)
August 22, 2013
Upcoming Changes to FINRA Examinations
By now, you've heard us talk often about the shift in our examination program to one that's more risk-based. Today, I am writing with an update on the most recent changes and what it means for your firm's next FINRA onsite cycle examination.
July 11, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: ATS reporting and transparency, BrokerCheck, debt research, dissemination of additional asset-backed securities transactions, funding portal rules, and Uniform Branch Office Registration form (Form BR).
July 3, 2013
A Few Minutes With FINRA—Board of Governors Election Process
Marcia Asquith, FINRA's Corporate Secretary, answers common questions about FINRA's Board of Governors elections, including where firms can find information about candidates and how to vote. (8 min. 27 sec.)
June 11, 2013
A Few Minutes With FINRA—FINRA Rulemaking Updates
Robert Colby, FINRA's Chief Legal Officer, explains the process for periodic review of FINRA rules, discusses next steps in FINRA's conflicts review project and provides an update for limited-purpose broker-dealers. (9 min. 4 sec.)
May 8, 2013
A Few Minutes With FINRA—Regulatory Operations Overview
Susan Axelrod, FINRA's Executive Vice President of Regulatory Operations, discusses her responsibilities and priorities in this new role, and provides an update on the 2013 Risk Control Assessment. (7 min. 56 sec.)
April 18, 2013
Update: FINRA Board of Governors Meeting

Rulemaking topics discussed include the following:

  • Dissemination of TRACE-Eligible Rule 144A Transactions
  • ADF Market Participant Requirements
  • Arbitration Panel Composition
  • Discovery Guide Used in Investor Arbitration Proceedings
  • Customer Account Statements
March 18, 2013
A Message About FINRA's Exam Program
A message from EVP Susan Axelrod regarding FINRA's sales practice examination program
February 14, 2013
Update: FINRA Board of Governors Meeting
Rulemaking topics discussed include: corporate financing, margin requirements for security-based equity swaps, membership rules, and private placement filings.
January 11, 2013
2013 Regulatory and Examination Priorities Letter

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